Regulatory Analyst and Investigator, Life & Annuities

Dallas, IA - USA

Monthly Salary: Not Disclosed

Posted on: 2 days ago

Vacancies: 1 Vacancy

Job Summary

Position Summary

We are seeking a detail-oriented and proactive Regulatory Analyst and Investigator to support Integrity Life & Annuities. This role is responsible for analyzing and investigating consumer complaints inquiries and regulatory actions received from Departments of Insurance Attorney General Offices other state agencies and consumers. The individual will research applicable regulatory requirements prepare recommendations for resolution and draft responses for review by Senior Legal Counsel Life & Annuities. Additionally this position will oversee compliance reviews of outbound communicationsincluding marketing materials sales literature social media and other promotional contentto ensure adherence to state and federal regulations. The role also includes leveraging internal AI tools for compliance monitoring and adapting schemas for evolving legislative and regulatory developments.

Key Responsibilities

Investigate consumer complaints inquiries and regulatory actions from state and federal authorities related to life and annuity products marketing practices or alleged misconduct.
Conduct interviews and gather statements from involved parties as needed.
Research and interpret applicable regulatory and legal requirements; prepare recommendations for resolution or response.
Review and approve outbound communications including marketing materials social media posts recruitment pieces and event promotions ensuring compliance with state insurance regulations and federal requirements (SEC/FINRA FTC TCPA CAN-SPAM robo-dialer prohibitions).
Monitor and update internal policies and procedures for the Life & Annuities segment.
Track and analyze regulatory developments including NAIC models SEC/FINRA rules FTC guidelines TCPA enforcement and emerging technologies impacting compliance.
Utilize internal AI tools for compliance reviews of websites podcasts and videos; train and create schemas for new regulatory requirements.
Maintain accurate records to demonstrate compliance during audits inquiries and enforcement actions.
Serve as liaison with business units and management to provide timely updates on complaints investigations and regulatory matters.
Manage legal and compliance-related projects and ensure timely execution of deliverables.

Required Competencies

Comprehensive understanding of state insurance regulations and related frameworks including NAIC models SEC/FINRA FTC TCPA CAN-SPAM and AI-related compliance requirements.
Ability to interpret and apply statutory requirements and regulatory guidance.
Strong analytical and problem-solving skills with attention to detail.
Excellent written and verbal communication skills; ability to convey complex information clearly.
Proficiency in Microsoft Office (Excel Word PowerPoint); advanced level preferred.
Advanced data analytics reporting and presentation skills.
Strong process orientation and familiarity with structured compliance management techniques.
Intellectual curiosity and ability to adapt to evolving regulatory landscapes.

Education and Experience

Bachelors degree in Legal Finance Business (Insurance emphasis preferred) Communications or related field.
Minimum of five years of experience in regulatory or compliance management within the insurance industry (regulator carrier or broker-dealer).

About Integrity

Integrity is one of the nations leading independent distributors of life health and wealth insurance products. With a strong insurtech focus we embrace a broad and innovative approach to serving agents and clients alike. Integrity is driven by a singular purpose: to help people protect their life health and wealth so they can prepare for the good days ahead.

Integrity offers you the opportunity to start a career in a family-like environment that is rewarding and cutting edge. Why Because we put our people first! At Integrity you can start a new career path at company youll love and well love you back. Were proud of the work we do and the culture weve built where we celebrate your hard work and support you daily. Joining us means being part of a hyper-growth company with tons of professional opportunities for you to accelerate your career. Integrity offers our people a competitive compensation package including benefits that make work more fun and give you and your family peace of mind.

Headquartered in Dallas Texas Integrity is committed to meeting Americans wherever they are in person over the phone or online. Integritys employees support hundreds of thousands of independent agents who serve the needs of millions of clients nationwide. For more information visit .

Integrity LLC is an Equal Opportunity employer. All qualified applicants will receive consideration for employment without regard to race color religion sex gender identity national origin disability veteran status or any other characteristic protected by federal state or local addition Integrity LLC will provide reasonable accommodations for qualified individuals with disabilities.

Required Experience:

Position SummaryWe are seeking a detail-oriented and proactive Regulatory Analyst and Investigator to support Integrity Life & Annuities. This role is responsible for analyzing and investigating consumer complaints inquiries and regulatory actions received from Departments of Insurance Attorney Gene...

Position Summary

Key Responsibilities

Investigate consumer complaints inquiries and regulatory actions from state and federal authorities related to life and annuity products marketing practices or alleged misconduct.
Conduct interviews and gather statements from involved parties as needed.
Research and interpret applicable regulatory and legal requirements; prepare recommendations for resolution or response.
Review and approve outbound communications including marketing materials social media posts recruitment pieces and event promotions ensuring compliance with state insurance regulations and federal requirements (SEC/FINRA FTC TCPA CAN-SPAM robo-dialer prohibitions).
Monitor and update internal policies and procedures for the Life & Annuities segment.
Track and analyze regulatory developments including NAIC models SEC/FINRA rules FTC guidelines TCPA enforcement and emerging technologies impacting compliance.
Utilize internal AI tools for compliance reviews of websites podcasts and videos; train and create schemas for new regulatory requirements.
Maintain accurate records to demonstrate compliance during audits inquiries and enforcement actions.
Serve as liaison with business units and management to provide timely updates on complaints investigations and regulatory matters.
Manage legal and compliance-related projects and ensure timely execution of deliverables.

Required Competencies

Comprehensive understanding of state insurance regulations and related frameworks including NAIC models SEC/FINRA FTC TCPA CAN-SPAM and AI-related compliance requirements.
Ability to interpret and apply statutory requirements and regulatory guidance.
Strong analytical and problem-solving skills with attention to detail.
Excellent written and verbal communication skills; ability to convey complex information clearly.
Proficiency in Microsoft Office (Excel Word PowerPoint); advanced level preferred.
Advanced data analytics reporting and presentation skills.
Strong process orientation and familiarity with structured compliance management techniques.
Intellectual curiosity and ability to adapt to evolving regulatory landscapes.

Education and Experience

Bachelors degree in Legal Finance Business (Insurance emphasis preferred) Communications or related field.
Minimum of five years of experience in regulatory or compliance management within the insurance industry (regulator carrier or broker-dealer).

About Integrity